Latest Institutional Transactions on Hercules Capital, Inc. (HTGC)
This table provides information on the latest institutional transactions involving Hercules Capital, Inc. (HTGC) stock. The table includes the name of the institution, the type of operation (buy or sell), whether options were involved, the number of shares exchanged, the range of values for the transaction, and the number of shares held by the institution after the transaction has occurred.
| Report Date | Institution (Fund) | Operation | Option | Shares change | Value Range | Shares Held | Trade History |
|---|---|---|---|---|---|---|---|
|
Nov 12, 2025
Q3 2025
|
Sand Hill Global Advisors, LLC
Palo Alto, CA |
BUY
|
- |
329+ 2.12% |
$6.03K - $6.43K
|
15.8K
$278K
|
|
|
Nov 12, 2025
Q3 2025
|
Principal Securities, Inc.
Des Moines, IA |
SELL
|
- |
-2.31K- 21.08% |
$42.3K - $45.1K
|
8.64K
$152K
|
|
|
Nov 12, 2025
Q3 2025
|
Anfield Capital Management, LLC
Newport Beach, CA |
SELL
|
- |
-3.92K- 26.58% |
$71.9K - $76.6K
|
10.8K
$190K
|
|
|
Nov 12, 2025
Q3 2025
|
Steward Partners Investment Advisory, LLC
|
SELL
|
- |
-202- 0.18% |
$3.7K - $3.95K
|
112K
$1.97M
|
|
|
Nov 12, 2025
Q3 2025
|
Simplex Trading, LLC
|
BUY
|
- |
680+ 3.86% |
$12.5K - $13.3K
|
18.3K
$321K
|
|
|
Nov 12, 2025
Q3 2025
|
Cambridge Investment Research Advisors, Inc.
|
BUY
|
- |
2.71K+ 1.65% |
$49.8K - $53K
|
167K
$2.94M
|
|
|
Nov 12, 2025
Q3 2025
|
Modern Wealth Management, LLC
Lenexa, KS |
BUY
|
- |
41+ 0.3% |
$752 - $801
|
13.8K
$242K
|
|
|
Nov 12, 2025
Q3 2025
|
Neuberger Berman Group LLC
New York, NY |
SELL
|
- |
-27.6K- 7.91% |
$507K - $540K
|
322K
$5.65M
|
|
|
Nov 12, 2025
Q3 2025
|
Nomura Asset Management CO LTD
Tokyo, M0 |
SELL
|
- |
-860- 5.73% |
$15.8K - $16.8K
|
14.2K
$249K
|
|
|
Nov 12, 2025
Q3 2025
|
Caitlin John, LLC
Brighton, MI |
BUY
|
- |
1.53KNew |
$28K - $29.8K
|
1.53K
$26.8K
|
|
|
Nov 12, 2025
Q3 2025
|
Cedar Wealth Management, LLC
Walnut Creek, CA |
SELL
|
- |
-800- 8.2% |
$14.7K - $15.6K
|
8.96K
$157K
|
|
|
Nov 12, 2025
Q3 2025
|
Lpl Financial LLC
Fort Mill, SC |
BUY
|
- |
498K+ 38.38% |
$9.13M - $9.72M
|
1.79M
$31.5M
|
|
|
Nov 12, 2025
Q3 2025
|
Stifel Financial Corp
St. Louis, MO |
SELL
|
- |
-2.46K- 0.43% |
$45.2K - $48.1K
|
567K
$9.96M
|
|
|
Nov 12, 2025
Q3 2025
|
Diversify Advisory Services, LLC
Sandy, UT |
BUY
|
- |
1.19K+ 5.32% |
$21.8K - $23.2K
|
23.5K
$413K
|
|
|
Nov 12, 2025
Q3 2025
|
Creative One Wealth, LLC
Overland Park, KS |
BUY
|
- |
185+ 1.33% |
$3.39K - $3.61K
|
14.1K
$248K
|
|
|
Nov 12, 2025
Q3 2025
|
Parallel Advisors, LLC
|
SELL
|
- |
-36- 0.24% |
$660 - $703
|
14.7K
$258K
|
|
|
Nov 12, 2025
Q3 2025
|
Smh Capital Advisors Inc
|
BUY
|
- |
40.6KNew |
$744K - $792K
|
40.6K
$713K
|
|
|
Nov 12, 2025
Q3 2025
|
Private Advisor Group, LLC
|
BUY
|
- |
406+ 0.32% |
$7.45K - $7.93K
|
126K
$2.21M
|
|
|
Nov 12, 2025
Q3 2025
|
Jefferies Financial Group Inc.
New York, NY |
BUY
|
CALL |
25KNew |
$459K - $488K
|
25K
$439K
|
|
|
Nov 12, 2025
Q3 2025
|
Jefferies Financial Group Inc.
New York, NY |
BUY
|
- |
1.39KNew |
$25.5K - $27.2K
|
1.39K
$24.5K
|
|
|
Nov 12, 2025
Q3 2025
|
Melia Wealth LLC
Tulsa, OK |
BUY
|
- |
20K+ 2.51% |
$366K - $390K
|
814K
$14.3M
|
|
|
Nov 12, 2025
Q3 2025
|
Napa Wealth Management
Napa, CA |
BUY
|
- |
2.02K+ 1.85% |
$37K - $39.4K
|
111K
$1.95M
|
|
|
Nov 12, 2025
Q3 2025
|
Cibc Bancorp Usa Inc.
Chicago, IL |
BUY
|
- |
111KNew |
$2.04M - $2.17M
|
111K
$1.96M
|
|
|
Nov 12, 2025
Q3 2025
|
Left Brain Wealth Management, LLC
Naperville, IL |
BUY
|
- |
6.82K+ 2.4% |
$125K - $133K
|
291K
$5.11M
|
|
|
Nov 12, 2025
Q3 2025
|
Barclays PLC
London, X0 |
BUY
|
- |
100K+ 97.94% |
$1.84M - $1.96M
|
203K
$3.57M
|
|
|
Nov 10, 2025
Q3 2025
|
Citigroup Inc
|
BUY
|
- |
1New |
$18.3 - $19.5
|
1
$17.6
|
|
|
Nov 10, 2025
Q3 2025
|
Rossby Financial, Lcc
Melbourne, FL |
BUY
|
- |
518+ 53.46% |
$9.5K - $10.1K
|
1.49K
$26.1K
|
|
|
Nov 10, 2025
Q3 2025
|
Estabrook Capital Management
New York, NY |
BUY
|
- |
41+ 2.09% |
$752 - $801
|
2K
$35.2K
|
|
|
Nov 10, 2025
Q3 2025
|
Sigma Planning Corp
Ann Arbor, MI |
BUY
|
- |
2.62K+ 5.27% |
$48.1K - $51.2K
|
52.4K
$921K
|
|
|
Nov 10, 2025
Q3 2025
|
Kovitz Investment Group Partners, LLC
|
SELL
|
- |
-3.73K- 11.74% |
$68.4K - $72.8K
|
28K
$493K
|
|
|
Nov 10, 2025
Q3 2025
|
Mai Capital Management
|
SELL
|
- |
-791- 13.6% |
$14.5K - $15.4K
|
5.02K
$88.3K
|
|
|
Nov 10, 2025
Q3 2025
|
Us Bancorp \De\
|
SELL
|
- |
-500- 1.19% |
$9.17K - $9.77K
|
41.5K
$729K
|
|
|
Nov 10, 2025
Q3 2025
|
Fox Run Management, L.L.C.
Greenwich, CT |
BUY
|
- |
23.7KNew |
$435K - $463K
|
23.7K
$416K
|
|
|
Nov 10, 2025
Q3 2025
|
Hager Investment Management Services, LLC
New London, NH |
BUY
|
- |
1+ 2.0% |
$18.3 - $19.5
|
51
$896
|
|
|
Nov 07, 2025
Q3 2025
|
Pnc Financial Services Group, Inc.
Pittsburgh, PA |
SELL
|
- |
-380- 0.14% |
$6.97K - $7.42K
|
268K
$4.71M
|
|
|
Nov 07, 2025
Q3 2025
|
Jpmorgan Chase & CO
New York, NY |
SELL
|
- |
-261K- 38.37% |
$4.79M - $5.1M
|
420K
$7.37M
|
|
|
Nov 07, 2025
Q3 2025
|
Founders Financial Alliance, LLC
Raleigh, NC |
BUY
|
- |
18.6KNew |
$341K - $363K
|
18.6K
$327K
|
|
|
Nov 07, 2025
Q3 2025
|
Denali Advisors LLC
|
SELL
|
- |
-68.3K- 20.45% |
$1.25M - $1.33M
|
266K
$4.67M
|
|
|
Nov 07, 2025
Q3 2025
|
Axxcess Wealth Management, LLC
Carlsbad, CA |
SELL
|
- |
-850- 5.24% |
$15.6K - $16.6K
|
15.4K
$270K
|
|
|
Nov 07, 2025
Q3 2025
|
Advisors Capital Management, LLC
Ridgewood, NJ |
BUY
|
- |
39.7K+ 5.27% |
$729K - $776K
|
794K
$14M
|
|
|
Nov 07, 2025
Q3 2025
|
Essex Financial Services, Inc.
|
SELL
|
- |
-4.73K- 7.74% |
$86.8K - $92.4K
|
56.4K
$991K
|
|
|
Nov 06, 2025
Q3 2025
|
Advisors Asset Management, Inc.
Monument, CO |
BUY
|
- |
8.88K+ 2.32% |
$163K - $173K
|
392K
$6.88M
|
|
|
Nov 06, 2025
Q3 2025
|
Caprock Group, Inc.
|
BUY
|
- |
15+ 0.11% |
$275 - $293
|
14.2K
$250K
|
|
|
Nov 06, 2025
Q3 2025
|
Stratos Wealth Partners, Ltd.
|
BUY
|
- |
3.79K+ 29.26% |
$69.4K - $73.9K
|
16.7K
$294K
|
|
|
Nov 06, 2025
Q3 2025
|
Assetmark, Inc
|
BUY
|
- |
400+ 28.86% |
$7.34K - $7.81K
|
1.79K
$31.4K
|
|
|
Nov 06, 2025
Q3 2025
|
Whipplewood Advisors, LLC
Littleton, CO |
BUY
|
- |
15.3KNew |
$281K - $299K
|
15.3K
$269K
|
|
|
Nov 06, 2025
Q3 2025
|
Wedbush Securities Inc
|
SELL
|
- |
-818- 5.55% |
$15K - $16K
|
13.9K
$245K
|
|
|
Nov 06, 2025
Q3 2025
|
Naviter Wealth, LLC
|
BUY
|
- |
5.31K+ 2.61% |
$97.5K - $104K
|
209K
$3.67M
|
|
|
Nov 06, 2025
Q3 2025
|
Balboa Wealth Partners
Newport Beach, CA |
BUY
|
- |
1.07K+ 3.57% |
$19.6K - $20.9K
|
31K
$545K
|
|
|
Nov 06, 2025
Q3 2025
|
High Tower Advisors, LLC
Chicago, IL |
SELL
|
- |
-6.85K- 9.43% |
$126K - $134K
|
65.8K
$1.16M
|
|